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Christopher Thomas Cullen

CRD# 2759863·Registered 1996 - 2010
Previously Registered: Being a previously registered professional could mean that Christopher is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Christopher Thomas Cullen was a registered financial advisor. Christopher was a previously registered financial professional and started their career in finance 1996 - 2010. Christopher had worked at 3 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 52 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

RONIN TRADING, LLC·CRD# 124987
BD
Chicago, IL
December 17, 2009 - March 19, 2010
RONIN TRADING, LLC·CRD# 124987
BD
Chicago, IL
September 22, 2003 - December 22, 2009
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
April 29, 1997 - February 1, 1999
AMERIPRISE ADVISOR SERVICES, INC.·CRD# 5979
BD
Detroit, MI
July 24, 1996 - April 3, 1997

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Current Firm

RT
RONIN TRADING, LLC

RONIN TRADING, J.V. | RONIN TRADING, LLC

CRD#: 124987 / SEC#: 8-65750
BD
Terminated by SEC on 04/13/2010

Contact Information

Established

Delaware since 10/18/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
RONIN CAPITAL, LLCMANAGER118428
BURDA, AGNIESZKACOMPLIANCE OFFICER—
CONENNA, DOMINICFINOP4893795
HUERTA, KELLY JOFINOP4889908
SUGEL, KERI LYNCOMPLIANCE OFFICER2875647

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1996About the Series 63 exam

Series 31 — Futures Managed Funds Examination

Passed May 1997About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Nov 1996About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Jul 1996About the Series 52 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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